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Showing 111 to 120 of 15166 search results for firm's culture.

  1. Regulation round-up December 2018

    Newsletters Published: 13/12/2018 Last modified: 13/12/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  2. 100 days of the FCA

    Speeches Published: 09/07/2013 Last modified: 16/08/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.
  3. Risk and returns

    InvestSmart Last modified: 15/10/2021
    Understand what we mean by risk, and that the more adventurous you are, the greater the chances that things don’t go the way you want.
  4. 5 Conduct Questions Programme

    Tasks for regulated firms Published: 12/04/2017 Last modified: 03/09/2020
    The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement
  5. FCA publishes 2016/17 Business Plan

    Press Releases Published: 05/04/2016 Last modified: 05/04/2016
    The seven themes are: pensions, financial crime and anti-money laundering, wholesale financial markets, advice, innovation and technology, firms’ culture and governance, and the treatment of existing customers. ... extend the Senior Managers and
  6. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017
  7. Facing the future – challenges and priorities for the FCA

    Speeches Published: 12/11/2020 Last modified: 12/11/2020
    Speech by our CEO, Nikhil Rathi, given at the Address to the City Regulators, Mansion House.
  8. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.
  9. Registration: Connect

    Registers and systems Published: 04/05/2016 Last modified: 17/02/2020
    Find out how your firm can register on Connect.
  10. Directory of certified and assessed persons

    Tasks for regulated firms Published: 05/09/2019 Last modified: 12/07/2021
    Under the Senior Managers and Certification Regime (SM&CR), we will publish and maintain a directory of certified and assessed persons on the Financial Services Register, so consumers and professionals can check the details of key individuals